Resource Library
Browse our resource library of videos, white papers, user-guides and more!
Stay Connected
Check out these resources, hand picked just for you.
Program Launch Tips Webinar
In this webinar, we share several tips for launching your annual Quest CE program. […]
FINRA & SEC Trends Webinar
In this webinar, we chat with industry experts about trending topics such as ESGs, Cybersecurity, Reg BI, and more. […]
Branch Audit Enhancements Webinar
In this webinar, we discuss our newest Branch Audit enhancements and demonstrate some new features. […]
What’s New at Quest CE – July
In this webinar, we highlight several new features we rolled out to Quest CE’s Branch Audit Tool. […]
What’s New At Quest CE – May
During this time, we’ll demonstrate our new ACM Builder Tool, as well as our new secure Single Sign-On solution. […]
What’s New At Quest CE – March
During this webinar, we’ll provide a demonstration of a new role type in our Branch Audit Tool, Supervisory Auditors. […]
IAR Continuing Education Model Rule Facts
This whitepaper has everything you need to know about NASAA’s new Investment Adviser Representative CE Model Rule. […]
Eight Reasons to Take your Audit Process Online
This whitepaper offers eight reasons why (if you haven’t already) you should consider taking your Branch Audit process online. […]
Distinguishing Between your Rep’s OBAs and PSTs
This whitepaper covers how to distinguish the difference between Outside Business Activities and Private Securities Transactions. […]
Branch Audit Tool
This video walks through how to use our Branch Audit Tool from the Auditor’s point of view. […]
Annual Compliance Meetings
This video shows some of the features available within our on-demand annual compliance meetings. […]
Policy Attestations
This video shows how to centrally host, view, and manage all of your electronic policies from one location. […]
Annual Compliance Questionnaires
This video shows some of the features available within our annual compliance questionnaires, including the use of standard forms. […]
Conflict Of Interest Tracking
This video features some of the functionality and service types available in our conflict-of-interest tracking system, such as OBAs/PSTs. […]
Course Builder
This video shows how to author, edit, and manage new courses and exams directly in Quest CE’s compliance management system, Renaissance. […]
FINRA Gets Phishy & The Changing Game
FINRA sends a regulatory notice warning brokers of a new phishing scam and regulators look to evaluate the impact of more GameStop fall out. […]
Whistleblowers Get Paid & The SEC’s New Chairman
Joint whistleblowers get paid over $50 million from the SEC and the Senate confirms Gary Gensler as the new chairman of the SEC. […]
Signed from the Grave & Investors Left Betrayed
A former broker is barred from the industry and a new research report shows people trust their Uber drivers more than their FAs. […]
